Best Practice Manual for the Forensic Examination of Handwriting - ENFSI-BPM-FHX-01
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ENFSI-BPM-FHX-01 (Ed. 03) BPM for the Forensic Examination of Handwriting
Best Practice Manual for the
Forensic Examination of Handwriting
ENFSI-BPM-FHX-01
Edition 03 – October 2020
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ENFSI-BPM-FHX-01 (Ed. 03) BPM for the Forensic Examination of Handwriting
ENFSI’s position on Best Practice Manuals
ENFSI wishes to promote the improvement of mutual trust by encouraging forensic
harmonisation through the development and use of Best Practice Manuals.
Furthermore, ENFSI encourages sharing Best Practice Manuals with the whole Forensic
Science Community which also includes non ENFSI Members.
Visit www.enfsi.eu/documents /bylaws for more information. It includes the ENFSI policy
document Policy on Creation of Best Practice Manuals within ENFSI (code: QCC-BPM-001).
Official language
The text may be translated into other languages as required. The English language edition
remains the definitive version.
Copyright
The copyright of this text is held by ENFSI. The text may not be copied for resale.
Further information
For further information about this publication, contact the ENFSI Secretariat. Please check
the website of ENFSI (www.enfsi.eu) for update information.
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ENFSI-BPM-FHX-01 (Ed. 03) BPM for the Forensic Examination of Handwriting
Best Practice Manual for the
Forensic Examination of Handwriting
CONTENTS
1. AIMS …………………………………………………………………………. 5
2. SCOPE ………………………………………………………………………. 5
3. DEFINITIONS AND TERMS ….…………………………………………… 6
4. RESOURCES ……………………………………………………………….. 6
4.1 Personnel ……………………………………………………………………… 6
4.2 Equipment …………………………………………………………………….. 7
4.3 Reference materials …………………………………………………………... 8
4.4 Accommodation and environmental conditions ………………………………. 8
4.5 Materials and Reagents ………………………………………………………. 8
5. METHODS …………………………………………………………………… 8
5.1 Anti-contamination procedures …………………………………………………. 8
5.2 Examination Techniques and Methods ………………………………………. 8
5.3 Analysis protocols …………………………………………………………….. 8
5.4 Case Records …………………………………………………………………. 9
5.5 Peer Review …………………………………………………………………… 9
6. VALIDATION AND MEASUREMENT OF UNCERTAINTY……………… 10
6.1 Validation………………………………………………………………………. 10
6.2 Estimation of uncertainty of measurement …………………………………… 10
7. QUALITY ASSURANCE .………………………………………………….. 11
8. HANDLING ITEMS ………………………………………………………….. 12
9. INITIAL ASSESSMENT …………………………………………………….. 12
9.1 Introduction . …………………………………………………………………… 12
9.2 Assessment at the laboratory …………………………………………………. 12
10. PRIORITISATION AND SEQUENCE OF EXAMINATIONS ………………….. 13
10.1 General considerations ………………………………………………………… 13
10.2 Considerations for forensic handwriting examinations ………………………… 13
11. RECONSTRUCTION OF EVENTS ………………………………………… 13
12. EVALUATION AND INTERPRETATION ………………………………….. 13
13. PRESENTATION OF EVIDENCE ………………………………………….. 13
13.1 General …………………………………………………………………………. 13
13.2 Written evidence ……………………………………………………………….. 14
13.3 Oral evidence …………………………………………………………………… 14
14. HEALTH AND SAFETY ……………………………………………………… 15
15. BIBLIOGRAPHY ……………………………………………………………… 15
15.1 English language texts …………………………………………………………. 15
15.2 German language texts ………………………………………………………… 16
16. AMENDMENTS AGAINST PREVIOUS EDITION ..……………………….. 16
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APPENDIX 1 - KEY KNOWLEDGE REQUIREMENTS FOR THE FORENSIC
EXAMINATION OF HANDWRITING …………………………………………………………. 17
APPENDIX 2 – TRAINING REQUIREMENTS OF FORENSIC
HANDWRITING EXAMINERS …………………………………………………….................. 21
APPENDIX 3 – OVERVIEW PROCEDURE FOR FORENSIC HANDWRITING
EXAMINATIONS AND COMPARISONS …………………………………………………….. 26
APPENDIX 4 – TERMINOLOGY USED IN FORENSIC EXAMINATION
OF HANDWRITING …………………………………………………………………………… 39
APPENDIX 5 – OVERVIEW PROCEDURE FOR FORENSIC EXAMINATIONS
AND COMPARISONS OF DIGITALLY CAPTURED SIGNATURES AND
HANDWRITTEN ENTRIES ……………………………………………………………………. 48
APPENDIX A – AMENDMENTS AGAINST PREVIOUS EDITIONS OF
THE APPENDICES ……..……………………………………………………………………… 68
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1. AIMS
This Best Practice Manual (BPM) aims to provide a framework of procedures, quality
principles, training processes and approaches to the forensic examination of handwriting.
This BPM can be used by Member laboratories of ENFSI and other forensic science
laboratories to establish and maintain working practices in the field of forensic handwriting
examination that will deliver reliable results, maximize the quality of the information obtained
and produce robust evidence. The use of consistent methodology and the production of
more comparable results will facilitate interchange of data between laboratories.
The term BPM is used to reflect the scientifically accepted practices at the time of creating.
Despite its implicit suggestion that alternative, equivalent Practice Manuals are excluded at
beforehand, in this series of ENFSI Practice Manuals the term BPM has been maintained for
reasons of continuity and recognition.
2. SCOPE
This BPM is aimed at experts in the field and assumes prior knowledge in the discipline. It is
not a standard operating procedure and addresses the requirements of the judicial systems
in general terms only.
Due to the fact that the terms “forensic handwriting examination” and “graphology” (or
“Judicial Graphology” or “Forensic Graphology”) are frequently confused and given (wrongly
attributed) equivalence, sometimes even within judiciary, it is to be stressed that there is a
clear difference between them. While they both focus on handwriting (including signatures)
and the process of writing, the questions they answer and the methods they use are entirely
different.
Forensic handwriting examination, just as many other forensic disciplines, aims for
identification of a person based upon a trace they leave. Just as in forensic DNA or
fingerprint analysis the identification derives from uniqueness of the genome or the pattern
of ridges on a skin, forensic handwriting examination deals with a trace that exhibits
individual neuromuscular behaviour of a person. This discipline does not make any
assumptions about the relationship between handwriting characteristics and personality
because the analysis of personal traits has no relevance to writer identification.
Graphology on the other hand, includes inferring character traits or intelligence of the person
from interpreting the handwriting characteristics.
It is not the task of a forensic handwriting examiner to deal with the validity of a graphological
diagnosis, and possible explanations, and it is not the role of a graphologist to form opinions
on the authorship of handwriting. Therefore, ENFHEX does not support the use of this Best
Practice Manual, in full or part, to validate the role of a graphologist within the forensic
environment.
Documents, of various types, are routinely encountered in casework and are required to be
examined for a number of reasons (see Appendix 1 – Key Knowledge Requirements for the
Forensic Examination of Handwriting). The examination of these documents may reveal
information which is invaluable to the investigation of a crime, or which may provide evidence
which indicates that a crime has been committed.
This guidance document covers the process from the receipt of the test items into the
“handwriting laboratory” to the presentation of evidence in the courts. As such it
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encompasses the systems, the procedures, the personnel, the equipment and the
accommodation requirements for the forensic examination of handwriting.
The law enforcement framework and the legal systems within which a forensic laboratory is
working will determine the degree of direct control that individual practitioners have over
each stage of a process. Where the practitioner is not directly involved in any particular
stage they should still be in possession of sufficient knowledge to ensure the maintenance of
good scientific practice.
3. DEFINITIONS AND TERMS
For the purposes of this Best Practice Manual (BPM), the relevant terms and definitions
given in ENFSI documents, the ILAC G19 “Modules in Forensic science Process”, as in
standards like ISO 9000, ISO 17000 and 17020 apply. In this section only the field specific
terms and definitions, which assist in the interpretation of this BPM, are listed.
Forensic Handwriting Examiner - An individual that undertakes a Forensic Handwriting
Examination. This includes both Reporting Scientists and Analysts/Assistants.
Forensic Handwriting Examination - The scientific examination and comparison of
handwritten documents to determine whether or not two or more pieces of handwriting have
been completed by one individual. This includes authentication of one or more questioned
signatures by comparison with a set of known signatures.
4. RESOURCES
4.1 Personnel
People are likely to be the most important resource in any forensic application and in order
to allow staff to work effectively and efficiently everybody concerned in the process must
understand the nature of the tasks and the human qualities required to perform them. It is
accepted that individual organisations will recruit Forensic Handwriting Examiners in
accordance with the requirements of that organisation (and this may include legal
considerations as well as academic qualifications or work experiences). As such it is
acknowledged that Forensic Handwriting Examiners will have a wide variety of experience,
training and background knowledge. All of these can be obtained through a range of
different processes, but should include the criteria detailed in Appendix 1 - "Key Knowledge
Requirements for the Forensic Examination of Handwriting”.
4.1.1 Roles and responsibilities
The key roles for Forensic Handwriting Examinations are:
Reporting Scientist – The forensic scientist responsible in a particular case for
directing the examination of the items submitted, interpreting the findings,
writing the report and providing evidence of fact, and opinion, for the court.
Analyst/Assistant – An individual carrying out general casework examinations
or analytical tests under the supervision of a Reporting Scientist and who is
able to provide information to assist with the interpretation of the tests.
Both of these roles can be carried out by the same individual.
4.1.2 Competence requirements
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The qualifications, competences and experience that individuals require to carry out
the various aspects of Forensic Handwriting Examination will depend on the
intellectual and practical demands of the various aspects of the work. Appendix 1 –
“Key Knowledge Requirements for the Forensic Examination of Handwriting” details
the general levels of knowledge required for individuals to undertake the particular
aspects of work, whilst Appendix 2 - “Training Requirements for Forensic
Handwriting Examiners” details the training requirements and the assessments that
will be applied.
The following experience and areas of competence would be expected as the
minimum standard for the key roles defined above, in forensic handwriting
examination:
Reporting Scientist - Knowledge of the theories, analytical techniques and
procedures applicable to forensic handwriting examination; competence in
the evaluation and interpretation of findings in handwriting cases; knowledge
and experience of the requirements and procedures of the criminal justice
system for the presentation of evidence, both written and oral
Analyst/Assistant - Knowledge of the theories, analytical techniques and
procedures applicable to forensic handwriting examination; the practical skills
to operate specialist equipment and to carry out forensic handwriting analysis
safely and reliably in compliance with laboratory protocols; an understanding
of the requirements of the criminal justice system
4.1.3 Training and Assessment
The levels of training and assessment are dependent on the role being undertaken;
however the following must be addressed in developing a training and assessment
programme:
laboratories should have written standards of competence for each role, a
documented training programme and processes for assessing that trainees
have achieved the level of competence required;
all training should be completed within the specified time frame and the
outcome of assessments documented on the individual's training records;
the assessment of competence can be accomplished through a combination of
appropriate means, including:
practical tests
written and/or oral examinations
role exercises (for example "mock" courts)
casework conducted under close supervision
a portfolio of previous work
A trainee should only be recognised as competent when he or she has been
assessed as meeting the defined standards of performance and only then be
permitted to undertake independent casework in the relevant area. A record of the
assessment date and result of the assessment should be added to the relevant
training record. All personnel involved in the field of forensic handwriting
examination will also be required to demonstrate that they have maintained their
competence at regular intervals, not exceeding 12 months (for example with the use
of collaborative exercises or proficiency tests).
4.2 Equipment
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The principle equipment required for Forensic Handwriting Examination is a suitable form of
magnification (such as a stereo-zoom microscope).
Other instrumentation, (see Appendix 3 Section 7) often falling within the remit of forensic
document examination, may assist the Forensic Handwriting Examiner. This is not covered
within this documentation.
Only appropriate and properly operating equipment should be employed in casework, and
then only within the limits of the performance checks carried out.
4.3 Reference materials
No specific requirements
4.4 Accommodation and environmental conditions
The principle considerations for forensic handwriting examination are the need for sufficient,
secure work space to allow for efficient and effective working and the need for good quality
lighting, preferably natural daylight.
When necessary correct anti-contamination procedures must be used to prevent cross-
contamination.
4.5 Materials and Reagents
No specific requirements
5. METHODS
5.1 Anti-Contamination Procedures
All items submitted for handwriting examinations should first be examined for the integrity of
their packaging. Any deficiency in the packaging, which may compromise the value of a
laboratory examination, should be noted, and the customer informed. Such a deficiency may
be grounds for refusal to carry out the laboratory examination.
Where applicable staff should wear suitable protective clothing to minimise the risk of
accidentally leaving trace evidence, such as fingerprints or DNA, on the items being
examined.
5.2 Examination Techniques and Methods
Whilst it is accepted that individual organisations will have their own, accredited methods,
the principle of each method should be carried out in accordance with the recommendations
in the appendices to this Manual (Appendix 3 - “Overview Procedure for Forensic
Handwriting Examinations and Comparisons”).
5.3 Analysis Protocols
The actual work that is carried out in individual cases should be determined by the
requirements of the case and will depend on the value of any other evidence which may be
available. But a systematic approach should always be adopted, to ensure consistency of
delivery of services that are fit for purpose.
Whatever work is done, the Forensic Handwriting Examiner should always use the
combination of techniques available that offers the greatest potential for recovering any
forensically viable information, taking into account the volume of work to be undertaken.
The choice of the most suitable methods of examination can only be made at the time of the
initial assessment by the Forensic Handwriting Examiner involved. Given the same case
circumstances, all laboratories would ideally adopt the same analysis protocol, but in practice
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the extent to which such harmonisation can be achieved will be limited. This protocol can
thus act only as a guide.
Non destructive tests should be given priority.
5.4 Case Records
The exact requirements for recording casework information will depend on the legal system
of the country/state of jurisdiction. As a minimum, however, the records should be in
sufficient detail to allow another Forensic Handwriting Examiner, competent in the same area
of expertise, to identify what has been done and to verify the findings.
For casework involving the forensic examination of handwriting, the records should include
details of:
the items that were submitted to the laboratory, the information accompanying
the items on submission and the nature of the work requested
the method of submission (e.g. by hand., by post, etc.), by whom and on what
date(s)
all movement of casework material within the laboratory system, the person(s)
responsible for the movement and the date(s) the movements took place
the method of return of items to the submitting organisation (e.g. by hand, by
post, etc.), by whom and on what date(s)
any changes, or additions to the items
all communications within the laboratory and between the laboratory and the
submitting organisation about the case
for each item examined, the labelling, method of packaging and integrity of
packaging on receipt
what examinations have been carried out, when, in what order, where and by
whom
all observations made, photographs taken and analytical data generated
the specific examination methods and procedures used
all draft and final reports or statements generated
administrative and technical review, when and by whom
Wherever possible, written records should be made on standardised forms.
5.5 Peer Review
It is important within Forensic Handwriting Examinations that the results of any examinations
undergo Peer Review. The Peer Review will cover, as a minimum, the Critical Findings in the
case. The Peer Review should also cover the Technical Findings.
5.5.1 Critical findings
Whilst the exact legal requirements may be different for different organisations, in
general findings of critical evidential value should be confirmed by a second
Reporting Scientist who has been authorised and is competent to carry out such
checks. Findings are considered critical when:
they make a significant contribution to the findings in the case, and
are incapable of being confirmed at a later time, or are subject to possible
differences in interpretation by different Reporting scientists,
A written record of these checks should be made on the case notes, bearing the
signatures of both the reporting scientist and the reviewer.
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Where critical findings have not been reviewed, the submitting body should be
informed that the results are preliminary.
5.5.2 Technical findings
The technical findings are the results of the examination(s). These findings must be
justified and supported by documentation within the casefile. Areas that should be
covered by the technical review include:
is there adequate documentation for all the materials examined
have the appropriate examinations/analyses been carried out
have the relevant QA procedures been followed
have analytical identifications/comparisons been checked
is the statement/report accurate and does it refer to all items submitted
6. VALIDATION AND ESTIMATION OF UNCERTAINTY
6.1 Validation
The laboratory should, where possible, only use validated techniques and procedures for the
forensic examination of handwriting and the interpretation of their significance in the context
of the case.
6.1.1 Validation requires as a minimum that:
there is an agreed requirement for the technique or procedure;
the critical aspects of the technique or procedure have been identified and the
limitations defined;
the methods, materials and equipment used have been demonstrated to be fit
for purpose in meeting the requirement;
there are appropriate quality control and quality assurance procedures in place
for monitoring performance;
the technique or procedure is fully documented;
the results obtained are reliable and reproducible;
the technique or procedure has been subjected to independent assessment
and, where novel, peer review;
the individuals using the technique or procedure have demonstrated that they
have been trained and have demonstrated that they are competent.
6.1.2 Where the techniques or procedures have been validated elsewhere, the laboratory
is required to carry out a verification exercise to demonstrate that it can achieve the
same quality of results in its own environment.
6.2 Estimation of uncertainty of measurement
Whilst it can be accepted that within forensic handwriting comparisons examiners do not
routinely make the sort of measurements described in paragraph 5.4.6 of ISO 17025, the
standard indicates that:
any laboratory should at least attempt to identify all the components of
uncertainty and make a reasonable estimation of the uncertainty and
and that any reasonable estimation should be based on knowledge of the
performance of the method. This should make use of for example, previous
experience and validation data.
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As such it is necessary to demonstrate that the issue of "uncertainty components" is
addressed. Consideration should be given to each of these components when the Forensic
Handwriting Examiner is assessing the material as part of their examination, including:
6.2.1 Sample size - The results (and strength of the results) of any handwriting and
signature examinations may depend on the amount of material submitted for
comparison. The results also depend on other criteria such as the complexity of the
handwriting and the stylisation of the signature.
6.2.2 Quality of material examined - The quality of the submitted material will have an
intrinsic effect on any examination. The following list indicates a number of
instances where this will occur:
Handwriting that has been submitted as photocopies does not possess all of
the detail present in original handwriting
Inks that have been treated with a solvent are more difficult to differentiate than
un-treated inks
Non-standard writing tools and/or surfaces (such as sprays, paint and outdoor
surfaces)
6.2.3 Complexity of handwriting/signatures - Handwriting and signature examinations and
comparisons, and the results of those examinations and comparisons, depend
significantly on the relative complexity or stylisation of the handwriting or signatures.
6.2.4 Human error - There are a number of circumstances where human error can be
critical. To counter these consideration should be taken to address each of the
potential areas, for example:
Training - all examiners undergo a formal, scheduled and detailed, training
programme, during which their progress is monitored and assessed. Where
errors or misidentifications are made, the trainee is made aware of those
misidentifications or errors, and any corrective actions undertaken.
Competency - The competency of each practitioner is routinely checked and
monitored against a set of specified criteria.
Procedures - standard operating procedures are in place to ensure a uniformity
and conformity of approach to each examination. These procedures are used
during the training programme, and the work of the trainee and other members
of staff are periodically reviewed against these procedures.
Repeat analysis - examinations are carried out independently by a second
practitioner. The results of both practitioners are subsequently discussed, and a
consensus result reached (this is usually, but not exclusively, in agreement with
the more cautious set of results). Occasionally, where the examination may be
more complicated or result in more contentious findings, the material is given to
a third practitioner, for their opinion.
Collaborative Exercises/Proficiency Testing (CE/PT) - The ability of each
examiner is tested regularly, over the range of examinations undertaken, using
external CE/PTs. The reported results are assessed against the "known"
answers, and any areas of disagreement are discussed and any corrective
actions undertaken.
7. QUALITY ASSURANCE
Proficiency tests should be used to test and assure the quality of Forensic Handwriting
Examinations. A list of currently available PT/CE schemes as put together by the QCC is
available at the ENFSI Secretariat. “Guidance on the conduct of proficiency tests and
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collaborative exercises within ENFSI” [1] provides information for the ENFSI Expert Working
Groups (EWGs) on how to organise effective proficiency tests (PTs) and collaborative
exercises (CEs) for their members.
The Forensic Handwriting Examiners should participate in at least one externally generated
proficiency test each year. Participants in the test should follow the standard laboratory
procedures for casework. They should not give the test any special treatment that would not
be given in the same circumstances to casework.
The laboratory QA Manager should be informed of all PT/CEs undertaken.
Any results not in accordance with the expected outcome should be brought to the attention
of the laboratory QA Manager as soon as possible.
8. HANDLING ITEMS
The examiner must ensure that any alterations to items within their possession are in
accordance with the customer’s requirements and are recorded within the casenotes.
The examiner must ensure that, whilst within their possession, there is no contamination (for
example extraneous fingerprints and/or DNA) to items that might require further examination.
The examiner must consider the potential health hazards with the item (see paragraph 14.1)
and take the appropriate precautions when handling any relevant items.
9. INITIAL ASSESSMENT
9.1 Introduction
In general all casework should undergo an initial case assessment to determine the
suitability of the material for examination and the applicability of material submitted before
any examination is undertaken.
9.2 Assessment at the laboratory
Before starting work on any case the examiner should carry out an assessment of the
information available and the items provided for examination in light of the agreed customer
requirement. The examiner should seek to redress any deficiencies through consultation
with the customer.
Any work carried out will be to meet a particular customer requirement. At each stage,
however, it is important that the course of action selected is based on an assessment of both
the propositions put forward by the customer and the known alternative(s) to this.
The examiner should also make an assessment of the risk of contamination, or any other
issue that could affect the integrity of the items before examination commences.
The examiner should then consider to what extent the proposition put forward by the
customer can be tested and should also frame at least one alternative proposition favourable
to the ‘defence’.
The examiner should consider what they might expect to find if each proposition were correct
and should make an assessment of the likely strength of the findings.
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10. PRIORITISATION AND SEQUENCE OF EXAMINATIONS
10.1 General considerations
Where there is more than one item and/or evidence type involved in the examination of a
case then priorities and sequences for the examinations will need to be considered.
Before commencing any examinations within a case the following matters should be
considered:
the urgency and priority of the customer’s need for specific aspects of the
information
the other types of forensic examination which may have to be carried out
which evidential types or items have the potential to provide the most
information in response to the various propositions and alternatives
the perishable nature of any material that may be present
health and safety or security considerations
10.2 Considerations for forensic handwriting examinations
The Forensic Handwriting Examiner must consider the most appropriate sequence of
examinations, the implications of which will have to be considered in conjunction with:
the availability of items for examination
the amount of material, within the items, available for examination
the potential value of the information available from each examination and the
impact this has on the various propositions
11. RECONSTRUCTION OF EVENTS
Not applicable
12. EVALUATION AND INTERPRETATION
When determining the authorship of a piece of handwriting and/or signature, a number of
hypotheses must be considered during the evaluation and interpretation of all of the
information received and gathered relating to a specific examination process.
Each hypothesis must be considered equally against:
the background information available about the case and the original
expectations formulated during case assessment
the significance of any findings from the examination
and an overall opinion formed of the most likely authorship of the handwriting and/or
signatures.
13. PRESENTATION OF EVIDENCE
13.1 General
The overriding duty of those providing expert testimony is to the court and to the
administration of justice. As such, evidence should be provided with honesty, integrity,
objectivity and impartiality.
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Evidence can be presented to the court either orally or in writing. Only information which is
supported by the examinations carried out should be presented. Presentation of evidence
should clearly state the results of any evaluation and interpretation of the examination.
The Reporting Scientists findings and opinions are normally provided, in the first instance, in
written form, as a report or statement of witness, for use by the investigator and/or the
prosecutor/court. Oral evidence may subsequently be required.
13.2 Written evidence
Written reports should include all the relevant information in a clear, concise, structured and
unambiguous manner as required by the relevant legal process. Written reports must be
peer reviewed.
Whilst formal advice is available on the format of reports and statements the scope for
consistency may be limited by the requirements of the criminal justice system for the country
of jurisdiction. In general, however the following should be included:
the unique case identifier
the name and address of the laboratory(s) where the Forensic Handwriting
Examiner is employed
the identity of the Forensic Handwriting Examiner(s), and evidence of their
status and qualifications where this is a requirement
the signature of the Forensic Handwriting Examiner (s)
the date on which the report/statement of Forensic Handwriting Examiner (s)
was signed
the date of receipt of the material that has been examined
the name and status of the submitter
a list of the material submitted, identified by source
if relevant a comment relating to the condition of submitted material and its
packaging when received, particularly where there is evidence of alteration,
either by tampering, damage, contamination or any other means
details of all relevant information received with, or in addition to the material
the purpose of the examination
details of the examinations/analyses carried out
the results of the examination/analyses
an assessment of the significance of the results in the context of the
information provided
the witness's expert opinion, where appropriate, and any findings which may
influence it
comment covering any material that was not examined, and the reasons for this
details of any submitted material, or parts of such material, not being returned
to the submitter, and the reasons why
A page numbering system (for example in the format “Page x of y”)
The use of schedules and/or photographic charts or illustrations, including interpretations
and original data, can be a helpful aid in presenting the information clearly.
13.3 Oral evidence
Persons expected to present oral testimony should have received instruction and/or
mentoring in the procedural requirements of the particular criminal justice system in which
the evidence is to be presented.
Only information which is supportable by the examinations carried out should be presented.
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When giving oral evidence the Forensic Handwriting Examiner should resist responding to
questions that take them outside their field of expertise unless specifically directed by the
court, and even then a declaration as to the limitations of their expertise should be made.
14. HEALTH AND SAFETY
There are occasional health hazard issues with items submitted for forensic handwriting
examination, including biological contamination (for example excrement or biological
powders) and chemical contamination (fingerprint treatment reagents). Caution must be
taken when examining these types of items, and occasionally no examination can be
undertaken.
15. BIBLIOGRAPHY
There are many books, journals and individual papers published on the subject of
Handwriting Examinations. It is impossible to compile a complete list of all of these.
The following list contains some of the significant publications that relate to the
examination of Handwriting.
15.1 English language texts
Caligiuri, M., & Mohammed, L.
The Neuroscience of Handwriting: Applications for Forensic Document Examination.
Boca Raton: CRC Press, 2012
Ellen, D.
The Scientific Examination of Documents - Methods and Techniques, Ellis
Horwood, London, 1989
Harralson, H.H. & Miller L.
Developments in Handwriting and Signature Identification in the Digital Age,
Routledge, 2012
Harrison, W.R.
Suspect Documents. Sweet and Maxwell, London, 1958 and 1966
Hilton, O.
Scientific Examination of Questioned Documents. Elsevier, New York, 1982
Huber, R.A. & Headrick, A.M.
Handwriting Identification: Facts and Fundamentals, CRC Press, New York, 1999
Kelly J.S. & Lindblom B.S.
Scientific Examination of Questioned Documents, CRC Press, New York 2006
Mohammed, L. A.
Forensic examination of signatures. London: Academic Press, 2019
Morris, R.N.
Forensic Handwriting Identification - Fundamental concepts and principles,
Academic Press, London, 2000
15/68ENFSI-BPM-FHX-01 (Ed. 03) BPM for the Forensic Examination of Handwriting
Osborn, A.S.
Questioned Documents. Boyd, Albany, New York, 1929
15.2 German language texts
Michel, L.
Gerichtliche Schriftvergleichung, Berlin: Walter de Gruyter 1982
Hecker, M.R.
Forensische Handschriftenuntersuchung. Heidelberg: Kriminalistik-Verlag, 1993
Conrad, W; Stier, B.:
Grundlagen, Methoden und Ergebnisse der Forensischen Schriftuntersuchung.
Lübeck: Schmidt-Römhild, 1989
16. AMENDMENTS AGAINST PREVIOUS EDITION
Introduction of additional paragraphs in “Section 2. Scope” dealing with the
differences between Forensic Handwriting Examination and Graphology.
See Appendix A
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16/68ENFSI-BPM-FHX-01 (Ed. 03) BPM for the Forensic Examination of Handwriting
APPENDIX 1 - KEY KNOWLEDGE REQUIREMENTS FOR THE FORENSIC
EXAMINATION OF HANDWRITING
SCOPE
All analysis involving the examination and comparison of handwriting and signatures, both
original and non-original.
The purpose of the examination is to determine whether or not there is evidence that two or
more pieces of handwriting (including signatures) have a common authorship (that is to say
“Is there any evidence that these pieces of handwriting were written by the same person?”).
The approach relies on a visual examination of the characteristics of the handwriting or
signatures, and an assessment of the similarities and differences found between pieces of
handwriting.
DETAILED KNOWLEDGE
Forensic Handwriting Examiners performing these examinations should have detailed
knowledge of the following, gained through a comprehensive and documented training
programme:-
Process of handwriting comparison which includes following.
Pertaining to Analysis:
Different writing implements
Variations in handwriting
o Within a piece of handwriting
o Between two pieces of handwriting
o Accidental variation
o Long-term development of handwriting
Styles of handwriting/Classification systems
o Upper-case
o Cursive Lower-case
o Disconnected lower-case
o Signatures
o Graffiti
Systems of handwriting
o Different alphabets (e.g. Roman, Greek, Cyrillic, Arabic etc.)
Determination of pen-path
Determination of fluency
o Variation in pen-pressure
o Tapering ends in individual characters
o Connectivity between characters
o Effects of speed in handwriting
Graphic maturity
o Effects of complexity
o Illiteracy
External factors affecting handwriting such as
Writing position and writing surface
17/68ENFSI-BPM-FHX-01 (Ed. 03) BPM for the Forensic Examination of Handwriting
Visibility and lighting conditions
Motion
Guided / Assisted hand signatures
Internal factors affecting handwriting such as
Illness and medication
Alcohol
Drugs
Handedness
Infirmity and age
Stress
Pertaining to Comparison:
Effects of copying
Freehand
Tracing
Transferred / Transposed signatures (e.g. photocopies)
Effects of disguise
Types of disguise
o Stencil
o Fluency
Maintenance of disguise within both known and questioned
Correct sampling techniques
Known handwriting
o Dictate
o Correct writing style
o Sufficient quantity
o Disguise
Course of business handwriting
o Different sources
o Verification/identification
o Contemporaneous sampling covering the relevant time period
Benefits of correct sampling process
Pertaining to Evaluation
Considerations
o Significance of similarities and differences
o Chance resemblance
o Simulation
o Disguise
o Limited populations
o Class characteristics (foreign writing)
o Individual/ class characteristics
Bayesian Approach/Likelihood ratios
Different styles of conclusion scales in common usage
Certainty of conclusions and probabilities
18/68ENFSI-BPM-FHX-01 (Ed. 03) BPM for the Forensic Examination of Handwriting
Grouping - management of large cases
Presentation of evidence
Orally
In written format
Contamination
GENERAL AWARENESS
Forensic Handwriting Examiners should also be able to demonstrate an awareness of the
following:
Teaching methods for handwriting and taught styles
Graphology – a discipline where the personality of an individual is inferred from their
handwriting. It is to be clearly distinguished from forensic handwriting examination. This type
of examination is not supported by this BPM (see section 2. “Scope”).
Electronic systems for handwriting classification and retrieval
FISH
Graphlog
CEDAR-FOX
FlashID
Electronic signature verification
Challenges to Forensic Handwriting Examinations
1993 US court decision in Daubert v Merrill Dow Pharmaceuticals
o Five critical considerations for admissibility of expert evidence
How to prepare for a challenge on the scientific nature of handwriting comparisons
Various arguments governing the uniqueness of handwriting
Non-destructive document examination methods
Indented impressions
Lighting and filtering techniques
o Absorbance (Visual & infra-red)
o Luminescence (Visual, infra-red & ultra-violet)
Printing processes
o Non-impact printing
o Impact printing
o Commercial printing processes
Simple paper examinations
o Use of lighting techniques
o Shredded documents
o Watermarks
Partially destructive document examination methods, including
Thin layer chromatography
FTIR
Raman
19/68ENFSI-BPM-FHX-01 (Ed. 03) BPM for the Forensic Examination of Handwriting
SEM
Other forensic examinations that may be impacted upon by a Forensic Handwriting
Examination
Fingerprint enhancement techniques
DNA examinations
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20/68ENFSI-BPM-FHX-01 (Ed. 03) BPM for the Forensic Examination of Handwriting
APPENDIX 2 – TRAINING REQUIREMENTS OF FORENSIC HANDWRITING
EXAMINERS
1. BACKGROUND
1.1 This appendix details the requirements for the training of both a Reporting Scientist
and an Analyst/Assistant (see paragraph 4.1.1. of the “Guidelines for Best Practice in
the Forensic Examination of Handwriting”).
1.2 Whilst it is recognized the length of time taken to train a Reporting Scientist and an
Analyst/Assistant is dependent on each individual organization, it is important that a
number of significant steps and milestones is addressed in the training programme.
1.3 This document does not cover other aspects of the trainees training (including
background information on other forensic activities and the role of a Forensic
Scientist at court).
2. GENERAL INTRODUCTION
2.1 Each organization must:
Generate an individual training programme for each new trainee that covers the
whole training period of the trainee. An example of a suitable Training
Programme is shown at the end of this Appendix.
Ensure that all relevant aspects of the “Key Knowledge Requirements for the
Forensic Examination of Handwriting” (Appendix 1) are covered within the
training programme.
Ensure that there is a periodic assessment of the development of the trainee as
a Forensic Handwriting Examiner.
Ensure that there is a clear and unambiguous process of final assessment of the
capabilities of the trainee.
Ensure that there is on-going training and assessment of all Forensic
Handwriting Examiners within your organization.
2.2 The duration of the training period shall be determined by the laboratory
management in conjunction with the trainee.
3. PHASE 1 - INITIAL TRAINING
3.1 Prior to commencing training, all trainees must have a general overview of the
training programme, including a defined timetable with significant milestones.
3.2 During the initial period of training, all trainees should be introduced to:
The specific methodology used within the organisation
Referenced textbooks and relevant journals and scientific papers
Test item handling
Use of relevant instrumentation
Basic notetaking, including the use of specific forms (if relevant)
4. PHASE 2 – USE OF TRAINING CASES/MOCK MATERIAL
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4.1 Use of specifically generated material (with known results) to examine specific
features encountered within handwriting, for example:
types of handwriting including
Natural handwriting
Disguised handwriting
Copied/simulated handwriting
types of writing instrument
levels and features of fluency
differences in individual character construction, and combinations of characters
4.2 The purpose of this section of the training is to install the knowledge of the
significance of personal characteristics as opposed to class characteristics
4.3 This section of the training programme will also introduce the comparison process as
well as introducing the trainee to the wide variations in characteristics encountered in
handwriting.
5. PHASE 3 - INTRODUCTION TO CASEWORK MATERIAL
5.1 This phase introduces the trainee to the critical aspects of examining casework
material, including
Introduction to any relevant casework management systems employed by the
organisation
Understanding the purpose of submission and identifying what the potential
outcomes of the examination may be.
Determining that suitable and relevant material has been submitted and
determining what other material may be required to complete the examination
Awareness of the other forensic opportunities that may be available, including
other aspects of Forensic Document Examination
Awareness of the impact of the examinations on other areas of forensic science,
including any potential contamination issues
Assessment of known and questioned material for internal consistency
6. PHASE 4 - CONSOLIDATION
6.1 This phase of the training is critical as it will introduce the trainee to the wide-range of
material submitted to the laboratory and will involve many separate examinations,
potentially involving many different case examples.
6.2 Features to be encountered at this stage will also include:
Introduction to various types of material
Introduction to various case situations, including both size and complexity, and
how they can be managed
Awareness of relevant databases including IHIS (which includes international
copybook styles and handwriting samples)
Introduction to the relevant conclusion scales
Preparation of forensic reports, including court comparison charts
Advising the submitting organization/individual on the need for suitable samples
6.3 Each specific case should be reviewed by the trainer within a reasonable timescale
22/68ENFSI-BPM-FHX-01 (Ed. 03) BPM for the Forensic Examination of Handwriting
7. PHASE 5 - FINAL COMPETENCE ASSESSMENT
7.1 At the culmination of the documented training period, the trainee will undertake a
series of competence assessments. These assessments should include:
Review of the casework material examined during Phases 3 and 4 of the training
programme. This material will form a portfolio of material which can be assessed
both internally, and if appropriate by external scrutiny
Successful outcomes from a number of proficiency tests
Presentation skills, relating specifically to forensic handwriting comparisons
Report writing skills
7.2 Following confirmation that the trainee is competent and confident to present
evidence in court, the trainee will be considered suitable for undertaking and
reporting casework
8. PHASE 6 - CONTINUED RE-EVALUATION
8.1 It is important to remember that the Training and Final Competence Assessment is a
milestone in the Trainees’ progress. All Forensic Handwriting Examiners must
maintain their competence. This can be achieved via a number of processes but
should include:
Regular participation in proficiency tests
Peer review of casework
Maintenance of competence through regular discussion and independent
examinations
Maintained awareness of developments in the field through literature, training
sessions and seminars/workshops
8.2 Following any prolonged absence or period of inactivity with regards to handwriting
comparisons the Forensic Handwriting Examiner must undergo a reassessment for
competence (similar to that described in Phase 5, paragraph 7).
23/68ENFSI-BPM-FHX-01 (Ed. 03) BPM for the Forensic Examination of Handwriting
Typical example of training programme. Detailed timings will be dependent on
organisational requirements.
Handwriting examinations – Training Programme
Name: James Smith
General information
The examination and comparison of handwriting is one of the most subjective of forensic disciplines and it is essential that
anyone being trained in the subject is given adequate time to gain experience. The only way to gain experience is by
examining handwritings – and plenty of them – and being told about the significance of handwriting features by an experienced
handwriting expert.
In reaching conclusions, and expressing opinions, handwriting experts have to make assessments of the significance of the
handwriting features under examination. To ascribe high significance to relatively common features is a sure and certain way
to an erroneous conclusion. Therefore it is essential that the trainee examines handwriting on a daily basis and not just in a
piecemeal or occasional manner (ENFHEX BPM).
Activity Training Time Target date Completion
Trainee Trainer
Initial Training Introduction to the Quality System
and Methodology
Review of relevant textbooks and
scientific papers
Test item handling
Introduction to basic notetaking
Use of relevant instrumentation
Initial case Confirming relevant items 3 days per week
notetaking (minimum)
Identifying requirements
(Handwriting comparison,
signatures, indented impressions
etc.)
Notetaking (including ink types,
colours, printing process etc.
Detailed Magnification 3 days per week
notetaking (minimum)
Sketching handwritings
Highlighting features
Individual features (proportions,
shapes, structures)
Assessment of Pictorial similarity 3 days per week
the significance of (minimum)
handwriting Chance resemblance
features
Quantity/Quality of handwriting
Interpretation of Management of large casefiles As and when
the significance of cases become
handwriting Grouping of handwriting available
features
24/68ENFSI-BPM-FHX-01 (Ed. 03) BPM for the Forensic Examination of Handwriting
Activity Training Time Target date Completion
Trainee Trainer
External Disguised handwriting As and when
influences cases become
Copying and forgery available
Effects of drugs and alcohol on
handwriting
Effects of illness and age on
handwriting
Writing with the unaccustomed hand
Positional influences
Reporting Results Conclusion scales On-going
Report writing Construction of generic report On-going
Competence Use of in-house and externally As determined
Assessment developed QA Trials by Trainee and
Trainer
Review of casework material
Report writing skills
Background General Documents and Handwriting On-going
reading protocols
Notes:
The bulk of the training will consist of shadowing an expert using case examples. During the preliminary aspects of the
training both in-house generated examples and previous casework will be utilised.
All aspects of training will be regularly reviewed and discussed with the trainee
Any slippage in the timetable may result in the “Competence Assessment” date being postponed.
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